Peter Thomas Grimm

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2025-07-10
NY	RA	APPROVED	2025-07-10

GA RA
APPROVED

Since 2025-07-10
NY RA
APPROVED

Since 2025-07-10

Branch Locations

Hamburg, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Next Financial Group	Williamsville	NY	04/2009	Present
Lpl Financial Llc	Hamburg	NY	07/2025	Present

04/2009 → Present

Next Financial Group

Williamsville, NY
07/2025 → Present

Lpl Financial Llc

Hamburg, NY

Previous Registrations

2014-03-05 → 2025-07-10

Next Financial Group, Inc.

Williamsville, NY

Hamburg, NY

Other Businesses

1) PETER T GRIMM POSITION: Agent NATURE: Insurance - fixed annuities; life/health INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/09/2009 ADDRESS: 3355 Brookfield Lane, Hamburg NY 14075, United States DESCRIPTION: Sales and service of insurance products

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-11-26
S65	Uniform Investment Adviser Law Examination	1995-01-19
S63	Uniform Securities Agent State Law Examination	1994-12-22

S66 Uniform Combined State Law Examination

2013-11-26
S65 Uniform Investment Adviser Law Examination

1995-01-19
S63 Uniform Securities Agent State Law Examination

1994-12-22

View on SEC IAPD